13F-HR 1 a2194877z13f-hr.txt 13F-HR SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 ------------------ Check here if Amendment [ ]; Amendment Number: -------- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Sun Life Financial Inc. --------------------------------- Address: 150 King street West --------------------------------- Toronto, Ontario, Canada, M5H 1J9 --------------------------------- Form 13F File Number: 28-05799 ------------ The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Pawan Khemraj ----------------------------- Title: Director, Investment Analysis ----------------------------- Phone: 416-979-6192 ----------------------------- /s/ Pawan Khemraj Toronto, Ontario November 12, 2009 ------------------------------- ---------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F File Number Name -------------------- ------------- 28-06597 McLean Budden 28-04968 MFS Report Summary: Number of Other Included Managers: 2 ------------ Form 13F Information Table Entry Total: 228 ------------ Form 13F Information Table Value Total: US$1,611,582 ------------ (Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name --------- -------------------- ------------------------------------ 028-12046 1 Sun Capital Advisers LLC. ------------------------------------ 028-12047 2 Sun Life Assurance Company of Canada ------------------------------------ Form 13F INFORMATION TABLE - September 30, 2009
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------- --------- --------- --------------------- ---------- -------- ---------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ -------- --------- --------- ---------- --- ---- ---------- -------- ---- --------- ------ 3M Corporation COM 88579Y101 3,269 44,293 SH SHARED 1 44,293 3M Corporation COM 88579Y101 1,223 16,577 SH SHARED 2 16,577 Acme Packet Inc COM 004764106 8,086 807,815 SH SHARED 1 807,815 Acme Packet Inc COM 004764106 3,114 311,097 SH SHARED 2 311,097 Acme Packet Inc COM 004764106 10,271 1,078,900 SH SHARED 1 1,078,900 Alexandria Real Estate Equit COM 015271109 5,177 95,254 SH SHARED 1 95,254 Alexandria Real Estate Equit COM 015271109 315 5,799 SH SHARED 2 5,799 Altria Group Inc COM 02209S103 1,107 62,166 SH SHARED 1 62,166 Altria Group Inc COM 02209S103 413 23,209 SH SHARED 2 23,209 Amgen Inc COM 031162100 4,162 69,102 SH SHARED 1 69,102 Amgen Inc COM 031162100 1,554 25,808 SH SHARED 2 25,808 Anadarko Petroleum Corp COM 032511107 1,373 21,892 SH SHARED 2 21,892 AT&T Inc COM 00206R102 2,870 106,242 SH SHARED 1 106,242 AT&T Inc COM 00206R102 1,096 40,570 SH SHARED 2 40,570 AvalonBay Communities Inc COM 053484101 6,766 93,028 SH SHARED 1 93,028 AvalonBay Communities Inc COM 053484101 408 5,609 SH SHARED 2 5,609 Bank of America Corp COM 060505104 5,079 300,194 SH SHARED 1 300,194 Bank of America Corp COM 060505104 1,887 111,501 SH SHARED 2 111,501 Bank of Nova Scotia COM 064149107 31,346 695,626 SH SHARED 1 695,626 Best Buy Company Inc COM 086516101 3,650 97,277 SH SHARED 1 97,277 Best Buy Company Inc COM 086516101 1,247 33,228 SH SHARED 2 33,228 Biogen Idec Inc COM 09062X103 4,132 81,784 SH SHARED 1 81,784 Biogen Idec Inc COM 09062X103 1,503 29,757 SH SHARED 2 29,757 BIOMED REALTY TRUST INC COM 09063H107 9,627 697,595 SH SHARED 1 697,595 BIOMED REALTY TRUST INC COM 09063H107 245 17,723 SH SHARED 2 17,723 Boeing Company COM 097023105 2,649 48,911 SH SHARED 1 48,911 Boeing Company COM 097023105 991 18,297 SH SHARED 2 18,297 Boston Properties Inc COM 101121101 7,951 121,296 SH SHARED 1 121,296 Boston Properties Inc COM 101121101 372 5,681 SH SHARED 2 5,681 Boston Scientific COM 101137107 10,051 950,000 SH SHARED 1 950,000 Boston Scientific Corp COM 101137107 7,970 752,598 SH SHARED 1 752,598 Boston Scientific Corp COM 101137107 2,988 282,150 SH SHARED 2 282,150 BP Amoco Plc COM 055622104 6,031 113,297 SH SHARED 1 113,297 BP Amoco Plc COM 055622104 1,693 31,807 SH SHARED 2 31,807 Bristol-Myers Squibb COM 110122108 3,120 138,544 SH SHARED 1 138,544 Bristol-Myers Squibb COM 110122108 1,168 51,847 SH SHARED 2 51,847 BROADCOM CORP-CL A COM 111320107 2,952 96,182 SH SHARED 1 96,182 BROADCOM CORP-CL A COM 111320107 1,127 36,714 SH SHARED 2 36,714 Chesapeake Energy Corp COM 165167107 1,391 48,970 SH SHARED 2 48,970 Chevron Corporation COM 166764100 11,769 167,102 SH SHARED 1 167,102 Chevron Corporation COM 166764100 1,685 23,928 SH SHARED 2 23,928 Citigroup Inc COM 172967101 2,334 482,334 SH SHARED 1 482,334 Citigroup Inc COM 172967101 847 174,978 SH SHARED 2 174,978 Clayton Williams Energy Inc COM 969490101 3,267 108,482 SH SHARED 1 108,482 Clayton Williams Energy Inc COM 969490101 1,271 42,214 SH SHARED 2 42,214 Coca-Cola Company COM 191216100 3,370 62,752 SH SHARED 1 62,752 Coca-Cola Company COM 191216100 1,246 23,201 SH SHARED 2 23,201 Concurrent Computer Corp COM 206710402 0 1 SH SHARED 1 1 Concurrent Computer Corp COM 206710402 0 2 SH SHARED 2 2 ConocoPhillips COM 20825C104 2,691 59,580 SH SHARED 1 59,580 ConocoPhillips COM 20825C104 1,008 22,328 SH SHARED 2 22,328 Cosi Inc COM 22122P101 505 800,817 SH SHARED 1 800,817 Cosi Inc COM 22122P101 195 309,909 SH SHARED 2 309,909 CVS Caremark Corporation COM 126650100 3,200 89,534 SH SHARED 1 89,534 CVS Caremark Corporation COM 126650100 1,173 32,811 SH SHARED 2 32,811 Delta Air Lines Inc COM 247361702 1,363 152,095 SH SHARED 1 152,095 DICK'S SPORTING GOODS INC COM 253393102 1,768 78,928 SH SHARED 2 78,928 DIGITAL REALTY TRUST INC COM 253868103 11,825 258,702 SH SHARED 1 258,702 DIGITAL REALTY TRUST INC COM 253868103 428 9,359 SH SHARED 2 9,359 Dominion Resources Inc COM 25746U109 3,050 88,398 SH SHARED 1 88,398 Dominion Resources Inc COM 25746U109 1,138 32,998 SH SHARED 2 32,998 Douglas Emmett Inc-w/i COM 25960P109 8,167 665,043 SH SHARED 1 665,043 Douglas Emmett Inc-w/i COM 25960P109 399 32,513 SH SHARED 2 32,513 Dupont (EI) Nemours and Co COM 263534109 2,822 87,799 SH SHARED 1 87,799 Dupont (EI) Nemours and Co COM 263534109 1,054 32,801 SH SHARED 2 32,801 Electronic Arts Inc COM 285512109 3,322 174,386 SH SHARED 1 174,386 Electronic Arts Inc COM 285512109 1,292 67,839 SH SHARED 2 67,839 EMC Corp COM 268648102 5,953 349,331 SH SHARED 1 349,331 EMC Corp COM 268648102 2,222 130,385 SH SHARED 2 130,385 EMULEX CORP COM 292475209 3,047 296,132 SH SHARED 1 296,132 EMULEX CORP COM 292475209 1,155 112,279 SH SHARED 2 112,279 EQT Inc COM 26884L109 5,565 130,624 SH SHARED 1 130,624 EQT Inc COM 26884L109 2,110 49,542 SH SHARED 2 49,542 Equity Residential Properties COM 29476L107 8,172 266,178 SH SHARED 1 266,178 Equity Residential Properties COM 29476L107 390 12,697 SH SHARED 2 12,697 Exelon Corporation COM 30161N101 3,005 60,566 SH SHARED 1 60,566 Exelon Corporation COM 30161N101 1,121 22,591 SH SHARED 2 22,591 Exxon Mobil Corp COM 30231G102 11,705 170,600 SH SHARED 1 170,600 Exxon Mobil Corp COM 30231G102 4,447 64,814 SH SHARED 2 64,814 Federal Realty Investment Tr COM 313747206 4,065 66,232 SH SHARED 1 66,232 Federal Realty Investment Tr COM 313747206 265 4,320 SH SHARED 2 4,320 Fedex Corp COM 31428X106 2,335 31,037 SH SHARED 1 31,037 Fedex Corp COM 31428X106 872 11,595 SH SHARED 2 11,595 FINISAR Corporation COM 31787A507 1,572 162,436 SH SHARED 1 162,436 Frontier Communications Corp COM 35906A108 6,372 845,091 SH SHARED 1 845,091 Frontier Communications Corp COM 35906A108 2,447 324,523 SH SHARED 2 324,523 GAMESTOP CORP-CLASS A COM 36467W109 4,731 178,747 SH SHARED 1 178,747 GAMESTOP CORP-CLASS A COM 36467W109 1,736 65,574 SH SHARED 2 65,574 General Electric Company COM 369604103 5,419 330,032 SH SHARED 1 330,032 General Electric Company COM 369604103 2,281 138,911 SH SHARED 2 138,911 Genworth Financial Inc. COM 37247D106 27,343 2,286,200 SH SHARED 1 2,286,200 Goldman Sachs Group Inc COM 38141G104 5,614 30,454 SH SHARED 1 30,454 Goldman Sachs Group Inc COM 38141G104 2,095 11,363 SH SHARED 2 11,363 HALOZYME THERAPEUTICS INC COM 40637H109 3,576 502,900 SH SHARED 1 502,900 HALOZYME THERAPEUTICS INC COM 40637H109 1,344 188,990 SH SHARED 2 188,990 HCP Inc COM 40414L109 7,719 268,565 SH SHARED 1 268,565 HCP Inc COM 40414L109 475 16,533 SH SHARED 2 16,533 Honeywell International Inc COM 438516106 3,107 83,629 SH SHARED 1 83,629 Honeywell International Inc COM 438516106 1,163 31,293 SH SHARED 2 31,293 IKanos Communications Inc. COM 45173E105 176 75,441 SH SHARED 1 75,441 IKanos Communications Inc. COM 45173E105 68 29,309 SH SHARED 2 29,309 Intel Corp COM 458140100 3,409 174,212 SH SHARED 1 174,212 Intel Corp COM 458140100 1,189 60,752 SH SHARED 2 60,752 Intermec Inc COM 458786100 3,026 214,580 SH SHARED 1 214,580 Intermec Inc COM 458786100 1,185 84,019 SH SHARED 2 84,019 Ishares COM 464286699 2,992 196,600 SH SHARED 1 196,600 Ishares COM 464286707 3,816 151,200 SH SHARED 1 151,200 Ishares COM 464286806 693 31,300 SH SHARED 1 31,300 Ishares COM 464286822 1,637 37,550 SH SHARED 1 37,550 Ishares COM 464286848 7,841 792,806 SH SHARED 1 792,806 IShares MSCI EAFE COM 464287465 23,449 428,838 SH SHARED 2 428,838 Ishares Tr COM 464287465 195,806 3,580,940 SH SHARED 1 3,580,940 Johnson & Johnson COM 478160104 2,212 36,327 SH SHARED 1 36,327 Johnson & Johnson COM 478160104 833 13,673 SH SHARED 2 13,673 JP Morgan Chase COM 46625H100 7,747 176,787 SH SHARED 1 176,787 JP Morgan Chase COM 46625H100 2,892 66,004 SH SHARED 2 66,004 Kimberly-Clark Corp COM 494368103 2,828 47,946 SH SHARED 1 47,946 Kimberly-Clark Corp COM 494368103 1,043 17,692 SH SHARED 2 17,692 Kimco Realty Corp COM 49446R109 6,409 491,503 SH SHARED 1 491,503 Kimco Realty Corp COM 49446R109 335 25,688 SH SHARED 2 25,688 Kroger Co COM 501044101 2,780 134,691 SH SHARED 1 134,691 Kroger Co COM 501044101 1,070 51,860 SH SHARED 2 51,860 Lexington Realty Trust COM 529043101 5,589 1,095,867 SH SHARED 1 1,095,867 Lexington Realty Trust COM 529043101 208 40,873 SH SHARED 2 40,873 Lockheed Martin Corp COM 539830109 3,076 39,401 SH SHARED 1 39,401 Lockheed Martin Corp COM 539830109 1,201 15,383 SH SHARED 2 15,383 Lowe's Companies COM 548661107 2,700 128,963 SH SHARED 1 128,963 Lowe's Companies COM 548661107 1,009 48,165 SH SHARED 2 48,165 Macerich Company COM 554382101 203 6,700 SH SHARED 1 6,700 Macerich Company COM 554382101 3 104 SH SHARED 2 104 Macy's Inc COM 55616P104 4,265 233,170 SH SHARED 1 233,170 Macy's Inc COM 55616P104 1,500 82,002 SH SHARED 2 82,002 Mattel Inc COM 577081102 3,612 195,682 SH SHARED 1 195,682 Mattel Inc COM 577081102 1,354 73,329 SH SHARED 2 73,329 Medical Properties Trust Inc COM 58463J304 8,816 1,128,854 SH SHARED 1 1,128,854 Medical Properties Trust Inc COM 58463J304 328 41,944 SH SHARED 2 41,944 Merck & Co Inc COM 589331107 3,199 101,139 SH SHARED 1 101,139 Merck & Co Inc COM 589331107 1,195 37,788 SH SHARED 2 37,788 Microsoft Corp COM 594918104 3,420 132,977 SH SHARED 1 132,977 Microsoft Corp COM 594918104 1,174 45,664 SH SHARED 2 45,664 Microsoft Corp COM 61166W101 4,106 53,050 SH SHARED 1 53,050 Microsoft Corp COM 61166W101 1,558 20,132 SH SHARED 2 20,132 Morgan Stanley COM 617446448 4,500 145,739 SH SHARED 1 145,739 Morgan Stanley COM 617446448 1,650 53,423 SH SHARED 2 53,423 Motorola Inc COM 620076109 5,971 695,150 SH SHARED 1 695,150 Motorola Inc COM 620076109 1,736 202,142 SH SHARED 2 202,142 MRV Communications Inc COM 553477100 4,984 5,417,703 SH SHARED 1 5,417,703 Nationwide Health Pptys Inc COM 638620104 1,339 43,206 SH SHARED 1 43,206 Nationwide Health Pptys Inc COM 638620104 331 10,669 SH SHARED 2 10,669 New York Community Bancorp COM 649445103 12,371 1,083,279 SH SHARED 1 1,083,279 New York Community Bancorp COM 649445103 1,524 133,443 SH SHARED 2 133,443 OCLARO INC COM 67555N107 1,769 1,607,740 SH SHARED 1 1,607,740 OCLARO INC COM 67555N107 2,724 2,476,696 SH SHARED 2 2,476,696 Oclaro Inc COM 67555N107 4,664 4,400,000 SH SHARED 1 4,400,000 OPNEXT COM 68375V105 5,347 1,850,000 SH SHARED 1 1,850,000 OPNEXT INC COM 68375V105 3,409 1,163,643 SH SHARED 1 1,163,643 OPNEXT INC COM 68375V105 2,322 792,465 SH SHARED 2 792,465 OVERSTOCK.COM INC COM 690370101 3,152 214,838 SH SHARED 1 214,838 OVERSTOCK.COM INC COM 690370101 1,158 78,945 SH SHARED 2 78,945 Pepsico Inc COM 713448108 3,523 60,054 SH SHARED 1 60,054 Pepsico Inc COM 713448108 1,319 22,478 SH SHARED 2 22,478 Pfizer Inc COM 717081103 3,414 206,277 SH SHARED 1 206,277 Pfizer Inc COM 717081103 1,274 76,955 SH SHARED 2 76,955 Philip Morris International COM 718172109 3,030 62,166 SH SHARED 1 62,166 Philip Morris International COM 718172109 1,131 23,209 SH SHARED 2 23,209 Plum Creek Timber Co Common COM 729251108 6,854 223,699 SH SHARED 1 223,699 Plum Creek Timber Co Common COM 729251108 350 11,428 SH SHARED 2 11,428 Powershares QQQ Nasdaq 100 COM 73935A104 19,236 455,500 SH SHARED 1 455,500 Procter & Gamble Co COM 742718109 5,257 90,770 SH SHARED 1 90,770 Procter & Gamble Co COM 742718109 1,964 33,908 SH SHARED 2 33,908 Public Storage COM 74460D109 12,110 160,947 SH SHARED 1 160,947 Public Storage COM 74460D109 535 7,112 SH SHARED 2 7,112 Raytheon Co COM 755111507 507 10,574 SH SHARED 1 10,574 Raytheon Co COM 755111507 198 4,129 SH SHARED 2 4,129 Schering-Plough Corp COM 806605101 5,060 179,113 SH SHARED 1 179,113 Schering-Plough Corp COM 806605101 1,561 55,266 SH SHARED 2 55,266 Schwaab Charles Corp COM 808513105 3,486 182,036 SH SHARED 1 182,036 Schwaab Charles Corp COM 808513105 1,361 71,079 SH SHARED 2 71,079 Sears Holding Corp COM 812350106 3,021 46,261 SH SHARED 1 46,261 Sears Holding Corp COM 812350106 1,177 18,026 SH SHARED 2 18,026 Silicon Graphics Int Corp COM 82706L108 6,113 940,500 SH SHARED 1 940,500 Silicone Graphics COM 82706L108 5,845 871,123 SH SHARED 1 871,123 Silicone Graphics COM 82706L108 2,268 337,932 SH SHARED 2 337,932 Simon Property Group Inc COM 828806109 25,092 361,394 SH SHARED 1 361,394 Simon Property Group Inc COM 828806109 857 12,350 SH SHARED 2 12,350 SL Green Realty Corp COM 78440X101 1,815 41,388 SH SHARED 1 41,388 SL Green Realty Corp COM 78440X101 346 7,898 SH SHARED 2 7,898 SPDR Trust COM 78462F103 1,043 9,876 SH SHARED 2 9,876 SPDR Trust COM 78462F103 620,171 5,873,383 SH SHARED 1 5,873,383 Starwood Property Trust Inc COM 85571B105 7,070 349,123 SH SHARED 1 349,123 Starwood Property Trust Inc COM 85571B105 239 11,805 SH SHARED 2 11,805 Talisman Energy Inc COM 87425E103 1,212 69,923 SH SHARED 2 69,923 Telabs Inc COM 879664100 5,506 795,627 SH SHARED 1 795,627 Telabs Inc COM 879664100 1,330 192,221 SH SHARED 2 192,221 Time Warner Cable Inc COM 88732J207 839 19,468 SH SHARED 1 19,468 Time Warner Cable Inc COM 88732J207 315 7,300 SH SHARED 2 7,300 Time Warner Inc COM 887317303 2,232 77,560 SH SHARED 1 77,560 Time Warner Inc COM 887317303 837 29,088 SH SHARED 2 29,088 Travelers Cos Inc COM 89417E109 4,473 90,856 SH SHARED 1 90,856 Travelers Cos Inc COM 89417E109 1,617 32,851 SH SHARED 2 32,851 United Technologies Corp COM 913017109 3,729 61,194 SH SHARED 1 61,194 United Technologies Corp COM 913017109 1,395 22,891 SH SHARED 2 22,891 Unitedhealth Group Inc COM 91324P102 2,032 81,167 SH SHARED 1 81,167 Unitedhealth Group Inc COM 91324P102 761 30,375 SH SHARED 2 30,375 UnumProvident Corp COM 91529Y106 3,223 150,305 SH SHARED 1 150,305 UnumProvident Corp COM 91529Y106 1,250 58,301 SH SHARED 2 58,301 Ventas Inc COM 92276F100 11,962 310,705 SH SHARED 1 310,705 Ventas Inc COM 92276F100 539 14,001 SH SHARED 2 14,001 Verizon Communications Inc COM 92343V104 4,767 157,495 SH SHARED 1 157,495 Verizon Communications Inc COM 92343V104 1,300 42,959 SH SHARED 2 42,959 Viacom Inc-class B COM 92553P201 2,779 99,121 SH SHARED 1 99,121 Viacom Inc-class B COM 92553P201 1,038 37,027 SH SHARED 2 37,027 Vicor Corp COM 925815102 2,611 338,256 SH SHARED 1 338,256 Vicor Corp COM 925815102 1,017 131,731 SH SHARED 2 131,731 Vicor Corp COM 925815102 4,273 579,783 SH SHARED 1 579,783 VMWARE INC-CLASS A COM 928563402 3,870 96,351 SH SHARED 1 96,351 VMWARE INC-CLASS A COM 928563402 1,423 35,429 SH SHARED 2 35,429 Vornado Realty Trust COM 929042109 16,488 255,989 SH SHARED 1 255,989 Vornado Realty Trust COM 929042109 530 8,224 SH SHARED 2 8,224 Wal-Mart Stores Inc COM 931142103 3,685 75,073 SH SHARED 1 75,073 Wal-Mart Stores Inc COM 931142103 1,376 28,028 SH SHARED 2 28,028 Wells Fargo & Co COM 949746101 6,278 222,784 SH SHARED 1 222,784 Wells Fargo & Co COM 949746101 2,335 82,868 SH SHARED 2 82,868 Weyerhaeuser Co COM 962166104 9,189 250,713 SH SHARED 1 250,713 Weyerhaeuser Co COM 962166104 469 12,809 SH SHARED 2 12,809 Williams Cos Inc COM 969457100 6,683 374,000 SH SHARED 1 374,000 Wyeth COM 983024100 3,985 82,033 SH SHARED 1 82,033 Wyeth COM 983024100 1,115 22,949 SH SHARED 2 22,949 1,611,582 65,498,537